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Regulatory Compliance Specialist Financial Services

Senior Trade Review Officer, Brokerage Compliance

Job in Toledo, Lucas County, Ohio, 43614, USA
Listing for: WesBanco
Full Time position
Listed on 2025-12-31
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
A financial services provider in Toledo, Ohio, is seeking a Compliance Review Specialist responsible for conducting trade reviews while ensuring adherence to regulatory policies. Candidates should possess at least three years' experience in the securities industry and relevant licenses including Series 7 and Series 24. Proficiency in Word, Excel, and Outlook is essential. This role requires strong communication skills and the ability to evaluate various financial products and services.
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Position Requirements
10+ Years work experience
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